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FORM U-12(I)-B (THREE-YEAR STATEMENT)
[As last amended in Release No. 35-26031,
effective May 31, 1994, 59 F.R. 21992.]
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
Calendar Year 1998
FORM U-12(I)-B
STATEMENT PURSUANT TO SECTION 12(i) OF PUBLIC UTILITY HOLDING COMPANY ACT OF
1935 BY A PERSON EMPLOYED OR
RETAINED BY A REGISTERED HOLDING COMPANY OR A SUBSIDIARY THEREOF AND
WHOSE EMPLOYMENT CONTEMPLATES ONLY ROUTINE
EXPENSES AS SPECIFIED IN RULE 71(b)
(To be filed in DUPLICATE. If acknowledgment is desired, file in triplicate)
1. Name and business address of person filing statement. Andrew J. Sonderman
200 Civic Center Drive
Columbus, OH 43215
2. Names and business addresses of any persons through whom the undersigned
proposes to act in matters included within the exemption provided by
paragraph (b) of Rule U-71.
3. Registered holding companies and subsidiary companies by which the
undersigned is regularly employed or retained. Columbia Gas of Ohio, Inc.
4. Position or relationship in which the undersigned is employed or retained
by each of the companies named in item 3, and brief description of nature
of services to be rendered in each such position or relationship. I am
General Counsel and from time to time I have represented and represent the
above-named Company as a lawyer before federal agencies, including the
FERC.
5. (a) Compensation received during the current year and estimated to be
received over the next two calendar years by the undersigned or others,
directly or indirectly, for services rendered by the undersigned, from each
of the companies designated in item 3. (Use column (a) as supplementary
statement only.)
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<TABLE>
<CAPTION>
Salary or other
compensations
--------------------
Name of recipient received to be Person or company from whom
received received or to be received
(a) (b)
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<S> <C> <C>
Andrew J. Sonderman * * Columbia Gas of Ohio, Inc.
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- ------------------------------------------------------------------------------------------------------------------
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* confidential treatment requested
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</TABLE>
(b) Basis for compensation if other than salary.
6. (To be answered in supplementary statement only. See instructions.)
Expenses incurred by the undersigned or any person named in item 2, above,
during the calendar year in connection with the activities described in
item 4, above, and the source or sources of reimbursement for same.
(a) Total amount of routine expenses charged to client: $ -0-
--------------------
(b) Itemized list of all other expenses:
Date: January 27, 1999 Signed) /s/Andrew J. Sonderman
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Section 12(i) of the Public Utility Holding Company Act of 1935
provides that it shall be unlawful for any person employed or retained by any
registered holding company, or any subsidiary company thereof, to present,
advocate, or oppose any matter affecting any registered holding company or any
subsidiary company thereof, before the Congress or any Member or committee
thereof, or before the Commission or Federal Power Commission, or any member,
officer, or employee of either such Commission, unless appropriate reports are
filed as the Commission may prescribe.
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RULE U-71, STATEMENTS TO BE FILED PURSUANT TO SECTION 12(i) OF THE ACT.
(a) TEN-DAY STATEMENT.
Any person who engages in any activity within the scope of Section
12(i) of the Act shall file with the Commission within 10 days after the date
of such activity a statement on Form U-12(I)-A, except as to activity within
the scope of any advance statement on Form U-12(I)-B, which is duly filed in
accordance with paragraph (b).
(b) ADVANCE STATEMENT.
An advance statement, covering anticipated activity for the remainder
of the present calendar year and the next two calendar years, may be filed on
form U-12(I)-B by any person (whether or not the compensation of such person
has been fixed in advance) who is a salaried officer or employee or an
attorney, accountant or other expert regularly retained by any company or by
companies in the same holding-company system, or any person specially retained
in connection with a particular proceeding or enterprise which is expected to
involve a series of appearances or activities, if such employment or retainer
does not contemplate any expenses other than ordinary personal, traveling or
sustenance expenses, stationery, postage, telephone and telegraphic service,
stenographic and clerical assistance, expenditures for the printing of briefs
or other documents to be submitted to any agencies specified in Section 12(i)
of the Act, and similar items.
(c) SUPPLEMENTAL STATEMENT.
Any person filing an advance statement on Form U-12(I)-B shall file a
supplement to such advance statement within 30 days after the end of the period
covered thereby, and in no event later than January 30 of the following year,
giving the information specified in Items 5 and 6 thereof. Any such person
renewing such advance statement may combine the renewal and supplement in the
same statement.
INSTRUCTIONS
GENERAL INSTRUCTION.
Advance statement on this form shall continue in effect until January
30 of the year following the end of the three-year period covered by the
advance statement, unless and except as previously supplemented or renewed.
Supplementary statements during the three-year period may be filed in the event
of material changes such as in information called for by items 1 through 6.
Changes of rank or salary within the organization would not ordinarily be
deemed materials.
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ITEM 1.
Statements shall be signed and filed by the person employed or
retained, whether an individual, partnership, corporation, or association. If
filed by a corporation, the statement shall be executed on its behalf by a duly
authorized officer. If the person reporting was employed or retained by the
holding company or subsidiary company in his capacity as a member or employee
of a partnership or an officer or employee of a corporation, he shall state the
name of such partnership or corporation and his position therein.
ITEM 3.
Reports with respect to any number of different companies, whether or
not they are members of the same holding-company system, may be included in a
single statement. Companies may be designated by description, e.g., "X Company
and all its subsidiaries except . . ."
ITEM 4.
The character of the duties for which the person reporting is employed
or retained shall be described briefly, indicating generally the relative time
devoted to each class of activities.
ITEM 5(a).
Column (a) to be used only in supplementary statement. See General
Instruction.
Compensation received from different persons or companies, even though
members of the same holding company system, shall be separately stated as to
each, but compensation from the same person or company for different services
need not be segregated.
ITEM 6
To be answered in supplementary statement. See General Instruction.
"Expenses" includes obligations incurred.
"Routine expenses" are those described in italicized portion of Rule
U-71(b) above.
Note that since Form U-12(I)-B is available only when the activity contemplated
only routine expenses, other expenses, if any, must be reported on Form
U-12(I)-A. The answer to Item 6(b) should either state "No other expenses" or
should refer to filings on Form U-12(I)-A.
